Nguyen & Mercer Group — FT. WORTH, TX
Marketing BrandOur mission is to provide quality strategies customized to your needs. Our goal is to be your primary source of financial advice. Operating under UBS FINANCIAL SERVICES INC. (CRD #8174).
Why This Matters
A marketing brand is the name a financial advisor uses with clients. It is often different from the SEC-registered firm that is legally responsible for their conduct and your money.
When you search for “Nguyen & Mercer Group,” you won't find it on the SEC or FINRA websites. That's because the regulatory entity is UBS FINANCIAL SERVICES INC.. Any disclosures, complaints, or regulatory actions are filed under the firm — not the brand.
Source: SEC Form ADV filings and FINRA BrokerCheck
The Relationship
UBS FINANCIAL SERVICES INC.
CRD 8174 · Dual
Brand Information
Inherited Transparency Score
Marketing brands inherit the transparency score of their registered parent firm. This score is not specific to Nguyen & Mercer Group — it reflects the regulatory profile of UBS FINANCIAL SERVICES INC..
What This Means
The firm behind this brand has notable transparency gaps in their regulatory filings. We recommend reviewing the firm's fee structure and conflict disclosures before making decisions.
This places them in the 0th percentile of all scored firms.
This firm's regulatory filings leave significant questions unanswered. Review the full firm profile — including its fee structure and conflict disclosures — before making decisions.
See full score breakdownRegulatory Context
Regulatory oversight is under UBS FINANCIAL SERVICES INC.
Any complaints, disclosures, or disciplinary actions are filed against the registered firm — not the marketing brand. Always check the firm's record, not just the brand name.
1 of 10,390 firm advisors use this brand
UBS FINANCIAL SERVICES INC. has 10,390 total registered advisors. Only 1 operates under the Nguyen & Mercer Group brand name.
Verify before you trust
A polished brand name doesn't guarantee quality advice. Check the firm's full regulatory profile and each advisor's individual score before making decisions.
Advisors Under This Brand(1)
These advisors use the Nguyen & Mercer Group brand name with their clients. Each has their own individual transparency score based on their personal regulatory record.